Latest Dodd-Frank Posts
NYSE Proposes to Clarify Proxy Solicitation Mechanics
Public Companies and Securities, Uncategorized The NYSE proposes to amend Section 402.05 of the Listed Company Manual to clarify that listed companies soliciting proxy material through brokers or other entities must comply with SEC Rule 14a-13. Rule 14a-13 mandates that listed companies must inquire of the record holder whether other persons are beneficial owners of the subject shares and, if […] Read more →
Bad Actor Disqualifications Are Not Sanction Enhancements
Litigation, Public Companies and Securities SEC Commissioner Daniel M. Gallagher delivered a speech where he considered the role of bad actor disqualifications in the context of the SEC’s enforcement initiatives. ... Read more →
ISS Publishes Industry Group US TSR Medians
Public Companies and Securities ISS has published Industry Group US TSR Medians for Performance-Related Policies. The publication was solely for informational purposes. Company performance relative to industry... Read more →
Asset Manager Hedging Results Fined for Failing to Register as a Commodity Trading Advisor
Broker-Dealer, Energy On January 16, 2015, the Commodity Futures Trading Commission (CFTC) fined an asset manager, using financial instruments to hedge its clients’ risk, for failing to register as a... Read more →